Richard D. Fairbank - 29 Jul 2022 Form 4 Insider Report for CAPITAL ONE FINANCIAL CORP (COF)

Role
Chairman and CEO, Director
Signature
/s/ Cleo Belmonte (POA on file)
Issuer symbol
COF
Transactions as of
29 Jul 2022
Net transactions value
-$1,292,851
Form type
4
Filing time
02 Aug 2022, 16:08:46 UTC
Previous filing
29 Jul 2022
Next filing
04 Aug 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,771,401 29 Jul 2022 Direct F1
transaction COF Common Stock Sale $405,648 -3,756 -0.1% $108.00 3,767,645 29 Jul 2022 Direct F1, F2
transaction COF Common Stock Sale $955,482 -8,782 -0.23% $108.80 3,758,863 29 Jul 2022 Direct F1, F3
transaction COF Common Stock Options Exercise $706,140 +12,538 +0.33% $56.32 3,771,401 01 Aug 2022 Direct F1
transaction COF Common Stock Sale $669,391 -6,283 -0.17% $106.54 3,765,118 01 Aug 2022 Direct F1, F4
transaction COF Common Stock Sale $395,229 -3,681 -0.1% $107.37 3,761,437 01 Aug 2022 Direct F1, F5
transaction COF Common Stock Sale $279,382 -2,574 -0.07% $108.54 3,758,863 01 Aug 2022 Direct F1, F6

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction COF Stock Options Options Exercise $0 -12,538 -4.5% $0.000000 263,295 29 Jul 2022 Common Stock 12,538 $56.32 Direct F1
transaction COF Stock Options Options Exercise $0 -12,538 -4.8% $0.000000 250,757 01 Aug 2022 Common Stock 12,538 $56.32 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.60 to $108.58. Information regarding the number of shares sold at each price will be provided upon request.
F3 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.60 to $109.10. Information regarding the number of shares sold at each price will be provided upon request.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $106.15 to $107.14. Information regarding the number of shares sold at each price will be provided upon request.
F5 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.15 to $108.12. Information regarding the number of shares sold at each price will be provided upon request.
F6 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.31 to $108.80. Information regarding the number of shares sold at each price will be provided upon request.